RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- M••••• S•••••• wirehouse currentsince Jan 27, 2020 · Lisle, Il
- M••••• S•••••• wirehouseSep 21, 2011 to Jun 18, 2019 · Lisle, Il
- T•• M••••• G••••• L•• independent RIAFeb 18, 2011 to Aug 7, 2012 · Oakbrook Terrace, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 3, 2011 · Oak Brook, Il
- M••••• S•••••• • C•• L•• unclassifiedMar 13, 2008 to Jun 1, 2009 · Oak Brook, Il
- U•• F•••••••• S••••••• I••• wirehouseFeb 15, 2008 to Feb 27, 2008 · Oakbrook Terrace, Il
- T•• M••••• G••••• L•• to M••••• S••••••left Aug 7, 2012, registered Sep 21, 2011 (-321 days) · Other
- M••••• S•••••• to T•• M••••• G••••• L••left Mar 3, 2011, registered Feb 18, 2011 (-13 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Feb 27, 2008, registered Mar 13, 2008 (15 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address